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from self-regulatory system under professional body to more stringent regulatory system under independent regulatory body. Inevitably, supervision on auditor in Thai capital market must be developed in
securities, which must have liquidity and reliable market price or reference price, are, namely (1) bonds registered with the Thai Bond Market Association and being government bonds or being given
/201712/17101199.pdf 6611pe.doc trading orders by themselves through an electronic system arranged by the intermediary at the temporary office. (2) in case of accepting trading orders of capital market
(OSS) system. On this occasion, she highlighted the SEC’s direction for the development of OSS services – such as the Government Business Services Portal or BizPortal, the Stakeholders Service Portal and
system. However, their listed company clients accounted for only 10 percent of the total market capitalization. At engagement levels, significant deficiencies were such as audits of revenue recognition
and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the discontinuation of the highest level responsible person in the compliance unit (Head of
and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to report the appointment of the highest level responsible person in the compliance unit to the SEC